Securities Arbitration Lawyers BlogFINRA Disciplinary Actions For February 2020 Names Registered Individuals Suspended For Failure To Provide Information
According to FINRA Disciplinary actions for February 2020, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules:
| NAME | FORMER EMPLOYERS |
| Belesis, George | Portfolio Advisors Alliance, LLC |
| John Thomas Financial | |
| Berghausen, Joseph | ADP Broker-Dealer, Inc |
| Cetera Advisor Networks LLC | |
| Blount, Dustin | MML Investors Services, LLC |
| Northwestern Mutual Investment Services, LLC | |
| Chu, Felix | NYLife Securities |
| Choburn, Brian | Maxim Group LLC |
| The Buckingham research Group Inc | |
| Drury, Michael | Stillpoint Capital, LLC |
| United Business Brokers, Inc | |
| Nguyen, Hiep | Merrill Lynch, Pierce, Fenner & Smith Inc |
| Citizens Securities, Inc | |
| Lee, Robert | |
| Ricker, Gregory | Westpark Capital, Inc |
| National Securities Corp | |
| Rockwell, David | Cetera Advisor Networks LLC |
| Suntrust Investment Services | |
| Ross, Paul | Hantz Financial Services, Inc |
| Thrivent Investment Management Inc | |
| Schneck, Mark | Northwestern Mutual Investment Services, LLC |
| MML Investors Services | |
| Zakarin, Eric | Lombard Securities Inc |
| Independent Financial Group |
Silver Law Group represents investors in securities and investment fraud cases through FINRA arbitration or court. Our lawyers are admitted to practice in New York and Florida and represent investors nationwide in securities arbitration to help recover investment losses due to stockbroker misconduct. If you have any questions about how your account has been handled, call (800)-975-4345 to speak with an experienced securities attorney. Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.